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RNS Number : 1866T Alphawave IP Group PLC 20 July 2022
TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the
FCA in Microsoft Word format if possible)(i)
1a. Identity of the issuer or the underlying issuer of existing shares to Alphawave IP Group PLC
which voting rights are attached(ii):
1b. Please indicate if the issuer is a non-UK issuer (please mark with an
"X" if appropriate)
Non-UK issuer
2. Reason for the notification (please mark the appropriate box or boxes with
an "X")
An acquisition or disposal of voting rights X
An acquisition or disposal of financial instruments
An event changing the breakdown of voting rights
Other (please specify)(iii):
3. Details of person subject to the notification obligation(iv)
Name CI Financial Corp.
City and country of registered office (if applicable) Toronto, Canada
4. Full name of shareholder(s) (if different from 3.)(v)
Name
City and country of registered office (if applicable)
5. Date on which the threshold was crossed or reached(vi): 15/07/2022
6. Date on which issuer notified (DD/MM/YYYY): 19/07/2022
7. Total positions of person(s) subject to the notification obligation
% of voting rights attached to shares (total of 8. A) % of voting rights through financial instruments Total of both in % (8.A + 8.B) Total number of voting rights of issuer(vii)
(total of 8.B 1 + 8.B 2)
Resulting situation on the date on which threshold was crossed or reached 2.997% 0 2.997% 681,817,991
Position of previous notification (if 3.05% 0 3.05%
applicable)
8. Notified details of the resulting situation on the date on which the
threshold was crossed or reached(viii)
A: Voting rights attached to shares
Class/type of Number of voting rights(ix) % of voting rights
shares
ISIN code (if possible)
Direct Indirect Direct Indirect
(Art 9 of Directive 2004/109/EC) (DTR5.1) (Art 10 of Directive 2004/109/EC) (DTR5.2.1) (Art 9 of Directive 2004/109/EC) (DTR5.1) (Art 10 of Directive 2004/109/EC) (DTR5.2.1)
GB00BNDRMJ14 20,433,089 2.997%
SUBTOTAL 8. A 20,433,089 2.997%
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC
(DTR5.3.1.1 (a))
Type of financial instrument Expiration Exercise/ Number of voting rights that may be acquired if the instrument is % of voting rights
date(x)
Conversion Period(xi)
exercised/converted.
SUBTOTAL 8. B 1
B 2: Financial Instruments with similar economic effect according to Art.
13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
Type of financial instrument Expiration Exercise/ Physical or cash Number of voting rights % of voting rights
date(x)
Conversion Period (xi)
settlement(xii)
SUBTOTAL 8.B.2
9. Information in relation to the person subject to the notification
obligation (please mark the
applicable box with an "X")
Person subject to the notification obligation is not controlled by any natural
person or legal entity and does not control any other undertaking(s) holding
directly or indirectly an interest in the (underlying) issuer(xiii)
Full chain of controlled undertakings through which the voting rights and/or X
the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entity(xiv) (please add additional rows as
necessary)
Name(xv) % of voting rights if it equals or is higher than the notifiable threshold % of voting rights through financial instruments if it equals or is higher Total of both if it equals or is higher than the notifiable threshold
than the notifiable threshold
CI Financial Corp.
CI Investments Inc. 2.997% 2.997%
10. In case of proxy voting, please identify:
Name of the proxy holder
The number and % of voting rights held
The date until which the voting rights will be held
11. Additional information(xvi)
Place of completion Toronto, ON
Date of completion 19/07/2022
Notes.
(i) Please note that national forms may vary due to specific national
legislation (Article 3(1a) of Directive 2004/109/EC) as for instance the
applicable thresholds or information regarding capital holdings.
(ii) Full name of the legal entity and further specification of the issuer or
underlying issuer, provided it is reliable and accurate (e.g. address, LEI,
domestic number identity). Indicate in the relevant section whether the issuer
is a non UK issuer.
(iii) Other reason for the notification could be voluntary notifications,
changes of attribution of the nature of the holding (e.g. expiring of
financial instruments) or acting in concert.
(iv) This should be the full name of (a) the shareholder; (b) the natural
person or legal entity acquiring, disposing of or exercising voting rights in
the cases provided for in DTR5.2.1 (b) to (h)/ Article 10 (b) to (h) of
Directive 2004/109/EC; (c) all parties to the agreement referred to in Article
10 (a) of Directive 2004/109/EC (DTR5.2.1 (a)) or (d) the holder of financial
instruments referred to in Article 13(1) of Directive 2004/109/EC (DTR5.3.1).
As the disclosure of cases of acting in concert may vary due to the specific
circumstances (e.g. same or different total positions of the parties, entering
or exiting of acting in concert by a single party) the standard form does not
provide for a specific method how to notify cases of acting in concert.
In relation to the transactions referred to in points (b) to (h) of Article 10
of Directive 2004/109/EC (DTR5.2.1 (b) to (h)), the following list is provided
as indication of the persons who should be mentioned:
- in the circumstances foreseen in letter (b) of Article 10 of that Directive
(DTR5.2.1 (b)), the natural person or legal entity that acquires the voting
rights and is entitled to exercise them under the agreement and the natural
person or legal entity who is transferring temporarily for consideration the
voting rights;
- in the circumstances foreseen in letter (c) of Article 10 of that Directive
(DTR5.2.1 (c)), the natural person or legal entity holding the collateral,
provided the person or entity controls the voting rights and declares its
intention of exercising them, and natural person or legal entity lodging the
collateral under these conditions;
- in the circumstances foreseen in letter (d) of Article 10 of that Directive
(DTR5.2.1 (d)), the natural person or legal entity who has a life interest in
shares if that person or entity is entitled to exercise the voting rights
attached to the shares and the natural person or legal entity who is disposing
of the voting rights when the life interest is created;
- in the circumstances foreseen in letter (e) of Article 10 of that Directive
(DTR5.2.1 (e)), the controlling natural person or legal entity and, provided
it has a notification duty at an individual level under Article 9 (DTR 5.1),
under letters (a) to (d) of Article 10 of that Directive (DTR5.2.1 (a) to (d))
or under a combination of any of those situations, the controlled undertaking;
- in the circumstances foreseen in letter (f) of Article 10 of that Directive
(DTR5.2.1 (f)), the deposit taker of the shares, if he can exercise the voting
rights attached to the shares deposited with him at his discretion, and the
depositor of the shares allowing the deposit taker to exercise the voting
rights at his discretion;
- in the circumstances foreseen in letter (g) of Article 10 of that Directive
(DTR5.2.1 (g)), the natural person or legal entity that controls the voting
rights;
- in the circumstances foreseen in letter (h) of Article 10 of that Directive
(DTR5.2.1 (h)), the proxy holder, if he can exercise the voting rights at his
discretion, and the shareholder who has given his proxy to the proxy holder
allowing the latter to exercise the voting rights at his discretion (e.g.
management companies).
(v) Applicable in the cases provided for in Article 10 (b) to (h) of Directive
2004/109/EC (DTR5.2.1 (b) to (h). This should be the full name of the
shareholder who is the counterparty to the natural person or legal entity
referred to in Article 10 of that Directive (DTR5.2) unless the percentage of
voting rights held by the shareholder is lower than the lowest notifiable
threshold for the disclosure of voting rights holdings in accordance with
national practices (e.g. identification of funds managed by management
companies).
(vi) The date on which threshold is crossed or reached should be the date on
which the acquisition or disposal took place or the other reason triggered the
notification obligation. For passive crossings, the date when the corporate
event took effect.
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